Transcript TRADITIONAL SURVEY TASKS - Power Point

Changes to the CMS State
Operations Manual (SOM)
Appendix P-Survey Tasks 1 thru 5C
for the Traditional Survey Process
NOTE: Words in Red Italics represent changes
4/9/2017
1
The objectives of this presentation include:
• To provide surveyors with a review of the recent changes made
to Tasks 1 thru 5C for the Traditional Survey process;
• To train surveyors on the new Quality Measure (QM) reports
and how they are to be used in the sample selection and
survey process;
• To review the changes made to CMS forms 672, 802, 802S and
802P and how these are used in the survey process; and
• To discuss the resident sampling changes to accommodate the
use of Antipsychotic Medication and non-pharmacological
interventions.
4/9/2017
2
Traditional Survey Tasks
Devote as much time as possible during the survey to
performing observations and conducting formal and
informal interviews. Reviews of records or policies and
procedures should be conducted in order to obtain
specific information and/or to verify or corroborate
potential concerns.
4/9/2017
3
Task 1 - Offsite Survey Preparation
INTENT - To focus the survey, use the following
sources of information during the offsite team
meeting. It is important that the QM reports be
generated as close to the date of survey as
possible, preferably no more than a few days prior
to the survey.
4/9/2017
4
Quality Measure (QM) Reports - Used to
identify indicators of potential problems or
concerns that may warrant further investigation.
They are not determinations of facility
compliance with the long term care
requirements. There are three QM reports that
need to be downloaded from the State Minimum
Data Set (MDS) database prior to conducting the
survey.
4/9/2017
5
Facility Characteristics Report
provides demographic information
about the resident population (in
percentages) for a selected facility
compared to all the facilities in the
State and nationally.
4/9/2017
6
Facility Quality Measure Report
provides facility status for each of
the MDS based QMs as compared
to state and national averages.
An asterisk is present in any row in which the facility
is flagged on a QM, which means that the facility is at
or above the national 75th percentile.
4/9/2017
7
Resident Level Quality Measure Report
provides resident specific information
generated using current records from the
CMS MDS data base. An “X” appears in a
QM column for a resident who has that
condition and a “b” appears in a QM
column for a resident where the condition
was not triggered or is excluded.
4/9/2017
8
Other Sources for Off-site Preparation
 Statements of Deficiencies (CMS-2567) and
Statements of Isolated Deficiencies
 CASPER Report 3, History Facility Profile, and CASPER
Report 4, Full Facility Profile
 Results of Complaint Investigations Do not reinvestigate
complaints already completed but consider the information to assist in
selecting potential residents or concerns.
4/9/2017
9
Other Sources for Off-site Preparation
 Information about Waivers or Variances Final approval of
any waiver or variance will be made by the State or Regional Office as
appropriate not by the surveyor at the time of the survey.
 Information from the State Ombudsman Office
 Preadmission Screening and Resident Review
Reports (PASRR)
4/9/2017
10
Team Coordinator
Responsibilities & Offsite Survey
Preparation Team Meeting
4/9/2017
11
 Using QM reports for pre-selection
of concerns and potential residents
 Using the Roster/Sample Matrix
form in the pre-selection process
4/9/2017
12
A resident is considered a long stay when they
have been in the facility for 101 days or more.
A short stay resident is defined as someone who
has been in the facility for less than or equal to
100 days.
Days do not need to be consecutive but are
cumulative.
4/9/2017
13
The best residents to select are often
those who have multiple care areas that
have been selected as potential concerns.
Approximately sixty percent (60%) of
residents are chosen during Phase 1 and
the remaining forty percent (40%) in
Phase 2.
4/9/2017
14
If the team has noted concerns with weight loss,
dehydration, and/or pressure ulcers, there is a minimum
number of residents who must be selected for the Phase
1 sample to represent any or all of these conditions.
Refer to Table 1-Long Term Care Facilities - Resident
Sample Selection.
For the remaining half of the Phase 1 off-site preliminary
sample, select residents to represent the remaining
areas of potential concern.
4/9/2017
15
OSCAR is now CASPER
While CASPER reports and the QM reports can assist surveyors,
this information may not represent the current condition of
residents or practices in the facility at the time of the survey.
Keep in mind that the CASPER information is approximately 1
year old, and the QM information may be from 2-6 months old.
Resident characteristics that were reported by the facility during
the last survey may have changed significantly and may be the
source of some discrepancies between CASPER and QM
information.
4/9/2017
16
Offsite Preparation Worksheet
&
Other Sources of Information
4/9/2017
17
Task 2 - Entrance
Conference/Onsite
Preparatory Activities
4/9/2017
18
The team coordinator should:
Request a copy of the current actual daily work schedules
for licensed and registered nursing staff for all shifts
during the survey period.
Advise that facility staff have the opportunity to provide
survey team members with any information that would
clarify an issue brought to their attention.
4/9/2017
19
The team coordinator should:
Provide copies of the QM reports and the CASPER 3 and
4 reports that are being used for the survey. Explain
these reports and how they were used by the survey
team in Task 1.
Ask the administrator with whom a team member would
speak to, to further discuss any special features of the
facility’s care and treatment programs and resident
case-mix.
4/9/2017
20
Determine if the facility utilizes paid feeding
assistants. If yes, ask the administrator with
whom a team member would speak to, to
further discuss information about how and
where feeding assistants receive their
training.
4/9/2017
21
Ask the administrator to ensure that during the
survey, there are times when residents, families
or resident representatives may contact the
survey team without facility staff present and
without having to ask facility staff to leave or to
allow access to the team.
4/9/2017
22
Determine if the facility has a functioning Quality
Assurance & Assessment (QA&A) committee and:
Who participates on the committee;
Who leads the committee;
How often the committee meets; and
With whom should the survey team discuss
QA&A concerns.
o
o
o
o
4/9/2017
23
Ask the administrator to provide the following
information within an hour or as soon as possible
following the Entrance Conference:
1. List of key facility personnel;
2. A copy of the facility’s admission packet/ contract(s);
3. Meal times, dining locations, copies of all current
menus;
4. Medication “pass” times
5. Admissions, transfers and discharges
4/9/2017
24
6. List of all residents who are receiving or have
received antipsychotic medications over the
past 30 days;
7. A copy of the facility’s building layout if not
already available, indicating the location of
nurses’ stations, individual resident rooms,
storage and common areas, etc.;
4/9/2017
25
Facility policies and procedures:
to prevent and investigate
allegations of abuse, neglect and
misappropriation of resident’s
property
4/9/2017
26
10. A completed Roster/Sample Matrix and
Resident Census and Conditions of Residents.
11.List of any residents age 55 and under and
any residents who communicate with non-oral
communication devices, sign language, or who
speak a language other than the dominant
language of the facility;
4/9/2017
27
12. A completed Long Term Care Facility
Application for Medicare and Medicaid;
13. A list of Medicare residents who requested
demand bills in the last 6 months (SNFs or
dually-participating SNF/NFs only);
4/9/2017
28
Facility’s immunization program
F334 or F441
According to the Centers for Disease Control
(CDC) influenza season is now determined by
whether or not influenza is circulating in the
facility’s geographic area
4/9/2017
29
Also, ask the following questions:
1. Which resident rooms, if any:
o
Have less square footage than required?(F458)
o
Are occupied by more than four residents?(F457)
o
Do not have at least one window to the outside?(F461)
o
Are not at or above ground level?(F461)
o
Do not have direct access to an exit corridor?(F459)
2. Are there variances in effect for any of these rooms and will
you continue to request a variance for any such rooms?
4/9/2017
30
Other Onsite Preparatory Activities
 Signs announcing the survey
 Arrange for Group Interview
4/9/2017
31
Task 3 - Initial Tour
4/9/2017
32
Intent of the Tour
• Initial opportunity to observe residents, staff
and physical environment including kitchen
• Verify whether residents preselected for
Phase 1 sample still reside in facility
• Identify other residents or potential concerns
for investigation
Long Term Care Training
1
Initial Tour
• Surveyors should tour individually
• Surveyor assigned will briefly go to kitchen
• When touring units, ask to have a facility staff
person accompany you who is familiar with
the residents
• Attempt to meet as many residents as possible
• Do not delay tour if staff are not available
Long Term Care Training
1
Initial Tour
• Suggest record observations on CMS 802
Roster/Sample Matrix or CMS 807 note form
• Record name, location and areas applicable to
the resident
• Determine if resident would be interviewable
• Note issues concerning quality of life as well
as care issues
Long Term Care Training
1
Initial Tour
• Ask staff to identify newly admitted or
readmitted residents within the past 14 days
• Residents anticipating transfer or discharge
• Those receiving dialysis or hospice services
• Residents receiving psychopharmacological
medications
Long Term Care Training
1
Initial Tour
• Identify licensed & registered nursing staff
currently on duty
• Assigned surveyor will compare staff observed
with current scheduled duty roster
• Information will be used in Task 6- Deficiency
Determination
Long Term Care Training
1
Task 4 - Sample Selection
4/9/2017
38
Definitions
•
•
•
•
4/9/2017
Interviewable Resident
Comprehensive Review
Focused Review
Closed Record Review
39
INTERVIEWABLE RESIDENTS
To assist in determining if a resident is
“interviewable” consider the results of the
resident’s MDS - Brief Interview for Mental Status
(BIMS). The BIMS is a brief screening tool that aids
in detecting cognitive impairment, but does not
assess all possible aspects of cognitive impairment.
4/9/2017
40
INTERVIEWABLE RESIDENTS
If a resident has language barriers, ask staff if there
is someone who serves as an interpreter to talk
directly with the resident in order to screen the
resident for the interview status.
4/9/2017
41
The statute/law requires a “case mix
stratified” sample for the total resident
sample selected. CMS defines this to
include residents who are interviewable
and non-interviewable, and residents
who require heavy and light care.
4/9/2017
42
Phase 1 sample
Pre-selected during Task 1, based on
QMs and other areas of concern.
4/9/2017
43
Residents, who over the past 30 days,
received or are receiving antipsychotic
medications.
A minimum, of 4 residents are to be included
in the sample.
.
4/9/2017
44
Phase 2 Sample Selections
Determine which Phase 1 concerns are
ruled out as these do not need to be
carried over into Phase 2 sample
selections.
4/9/2017
45
Phase 2 Sample Selections
Based on the teams’ discussions, select
concerns and/or additional residents for the
Phase 2 sample
4/9/2017
46
Roster/Sample Matrix Form
4/9/2017
47
Phase 1 sample
Review the Roster/Sample Matrix
information, provided by the facility and
compare it to the findings from the tour to
determine if there is a reason to substitute
another resident for any of the residents
originally selected from the offsite sample.
4/9/2017
48
Phase 2 Sample Selections
During Phase 2 sample selection, use a clean
copy of the Roster/Sample Matrix worksheet
4/9/2017
49
Special Factors to Consider in
Sample Selection
4/9/2017
50
 New admissions or residents readmitted during
the previous 14 days,
 Residents who have no or infrequent visitors.
 Residents with psychosocial, interactive, and/or
behavioral needs.
 Residents who are bedfast and totally dependent
on care.
4/9/2017
51
 Residents receiving dialysis or hospice services.
 Residents receiving psychopharmacological
medications specifically antipsychotic
medications.
 Residents in rooms in which variances have
been granted for room size or number of beds in
room.
4/9/2017
52
 Residents with mental illness or intellectual/
developmental disabilities.
 Residents who communicate with non-oral
communication devices, American Sign
Language, or who speak or understand a
language other than the dominant language of
the facility.
4/9/2017
53
Substituting Residents
&
Supplementary Sample
4/9/2017
54
Table 1 - Long Term Care Facilities
Resident Sample Selection
4/9/2017
55
Task 5 - Information Gathering
4/9/2017
56
Task 5 - Sub-Tasks
5A General Observations of the Facility
5B Kitchen/Food Service Observations
5C Resident Review
5D Quality of Life Assessment
5E Medication Pass and Pharmacy Services
5F Quality Assessment and Assurance Review
5G Abuse Prohibition Review
4/9/2017
57
General Survey Procedures and
Surveyor Documentation
Devote as much time as possible during the
survey to performing observations and
conducting formal and informal interviews.
Limit record reviews to obtaining specific
information, i.e., look at what is needed, not
the whole record.
4/9/2017
58
Surveyor documentation and findings
should be resident-centered
Surveyor documentation must relate to
the regulations and provide clear
evidence, as appropriate, of the facility’s
failure to meet a regulation
4/9/2017
59
Surveyors should:
 Be alert at all times to the surrounding
care environment and activities
 Meet as a team on a daily basis to share
information
4/9/2017
60
Surveyors should:
 Discuss observations, as appropriate,
with team members, facility staff,
residents, family members, and the
Ombudsman
 Verify information and observations in
terms of credibility and reliability
4/9/2017
61
• Observations
• Interviews
• Record Review
4/9/2017
62
Sub-Task 5A - General
Observations of the Facility
Surveyors must document all observations of
potential concerns to include the date and
time of the observation, the individuals
involved or being observed, and the concerns
noted at the time of observations.
4/9/2017
63
Sub-Task 5B - Kitchen/Food
Service Observation
4/9/2017
64
Sub-Task 5C - Resident Reviews
4/9/2017
65
Comprehensive Care Review
4/9/2017
66
Focused Care Review
Phase 1
4/9/2017
67
Focused Care Review
Phase 2
4/9/2017
68
Conducting the Resident Review




4/9/2017
Resident Room Review,
Daily Life Review,
Assessment of Drug Therapies, and
Care Review
69
Care Observations and Interviews
Conduct ongoing resident observations
and interviews as necessary and
appropriate.
4/9/2017
70
Care Observations and Interviews
Complete the following tasks:
• Observe the resident and caregivers
• Gather and document resident-specific
information,
• Determine if the facility used the CAA
process
4/9/2017
71
Do not continue to follow residents
once enough information has been
collected to determine whether the
resident has received care and services
in accordance with their needs and the
regulatory requirements.
4/9/2017
72
When observing residents, respect
his/her right to privacy.
Surveyors should never remove dressings or
bedclothes. A surveyor is not to touch or examine a
patient by himself or herself. Resident care
observations should be made by those persons who
have the clinical knowledge and skills to evaluate
compliance.
4/9/2017
73
Record Review to gather additional information
and to verify information already attained
_______________________________________________________________________________________________________________________________
Do not spend unnecessary time reviewing
records, use the record review to help validate
or confirm whether the MDS assessments and
care planning interventions accurately reflect
the resident’s status and identified needs and
choices.
4/9/2017
74
For sampled residents selected for
either a comprehensive or a focused
review, conduct a review of the RAI
information
4/9/2017
75
QUESTIONS
4/9/2017
76